- Explain the importance of compliance record keeping
- Discuss the reasons for keeping records.
- Discuss the need for a record-keeping policy and which aspects of record-keeping it should address.
- Discuss the mechanisms that may be designed and implemented to enable various aspects such as security, safety and retrievability of records
- Identify and evaluate which aspects should be addressed to ensure that record-keeping facilities are adequate.
- Discuss the need to assess the legal, regulatory and other requirements relating to retention periods of records.
- Be able to develop a record management plan that addresses period, manner, and security and retrievability issues
Who should register?
Financial planners, financial advisors, compliance officers